It’s important to know the duties of investment business workers. For example, a financial planner helps clients with their financial goals and needs. A securities trader buys and sells stocks, bonds, options, or other securities for a living. And an advisor may provide financial advice in a variety of ways from investing in stocks or bonds to helping clients plan for retirement. If you want to understand more about what each investment business worker does, read on!

Investment Advisor

An Investment Advisor is a person who gives investment advice and recommends securities to clients. Investment Advisors help investors make informed decisions by providing guidance on how to manage their money and make sound investments. In order to become an Investment Advisor, you must pass exams administered by FINRA (Financial Industry Regulatory Authority). These exams test your knowledge of financial products, regulations, and laws as well as how they apply in real-life situations. You must also complete continuing education courses every year in order to maintain your license with FINRA.

Financial Planner

Financial planners help clients make financial decisions. They also help clients plan for their future, including retirement and other life events that may require a change in how much money is needed. Financial planners can help you create an investment portfolio that meets your goals, or they may be able to recommend someone who can do it for you. They might work with estate attorneys or tax accountants to ensure that all of your bases are covered when it comes to taxes and other legal matters related to financial planning.


A broker is a person who acts as an agent between the buyer and seller. The broker receives a commission for their services, which can range from full-service to discount. You’ll find brokers working in all kinds of industries, including investment banking and insurance sales. Brokers must be licensed by the government to sell financial products such as stocks, bonds, or mutual funds, this ensures that they have met certain educational requirements and passed exams testing their knowledge about these products (as well as other topics).

Securities Trader Work for Investment Business Worker

A securities trader is a person who buys and sells stocks, bonds, and other financial instruments for the purpose of making a profit. The securities trader may work for an investment business worker bank or brokerage house, but more often than not he is a private individual who trades on his own behalf. The Securities Trader has many duties that include:

  • Analyzing the market trends to determine what direction prices will move in
  • Using technical analysis (trend lines) or fundamental analysis (earnings) in order to make decisions about when to buy or sell stocks
  • Keeping up with all news relating to companies that he trades in order to get information about their prospects

Portfolio Manager

A portfolio manager is a financial professional who manages the investments of a portfolio. A portfolio manager is responsible for all aspects of investment management, including asset allocation, research, and risk management.

Investigate potential investments. Portfolio managers must investigate companies or funds in that they may want to buy shares so they can determine whether these investments are worth buying. For example:

Portfolio managers may look at how much profit each company makes and how much money they have in reserves (the amount left over after paying expenses). They’ll also review quarterly earnings reports from these companies before deciding whether or not they want to buy shares from them. Selecting which stocks or bonds will make up your portfolio is called asset allocation, this involves analyzing historical data about the past performance of different asset classes such as stocks versus bonds. Monitor each security for changes in price relative to its benchmark index (an index measures how well an entire group does over time).

Investment Business Worker

Investment Business Worker is a person who works in the investment business. An Investment Advisor is someone who provides advice on investments, either directly or through a company. A Financial Planner helps people make financial decisions and plan for their future needs. A Broker executes buy and sell orders from clients but does not provide investment advice or recommendations on what to buy or sell. A Securities Trader buys and sells securities for his/her own account at an exchange (such as the New York Stock Exchange) or over-the-counter marketplaces such as NASDAQ Global Market where execution speed is critical because buyers and sellers often compete against each other rather than working together cooperatively as they do at mutual funds companies where they both have equal access to information about prices available elsewhere throughout markets operated by exchanges.


Investment business workers are a vital part of the investment industry. They help people make smart financial decisions, manage their money and invest wisely. These workers provide valuable services that can impact your life and finances in many ways. If you’re interested in becoming an investment business worker yourself, check out some of our other posts on this topic!

By Cynthia